DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••• M••••• • C••• I•••
Latest filing Mar 18, 2026
First filing on the tape Mar 23, 2012 · 19 filings
SEC status approved since Jul 11, 2005
RAUM
$282M
reported, Item 5.F
Discretionary
7.9%
of RAUM
Private clients
52%
$146M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$282M as of Mar 18, 2026
Mar 23, 2012$132M then
HNW client RAUM$142M as of Mar 18, 2026
May 31, 2018$67.4M then
State-registered IARs (5.B.3)5 as of Mar 18, 2026
Mar 23, 20120 then
Employees (5.A)5 as of Mar 18, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $70.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.9%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M51%
- Pension and profit-sharing plans$58.5M21%
- Corporations and businesses$42.2M15%
- Charitable organizations$34.7M12%
- Individuals$3.9M1.4%
- Individual clients
- 23reported
- HNW clients
- 76reported
- Pension plan clients
- 18reported
- Charitable clients
- 3reported
- Accounts
- 182reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.52 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• B•••• M••••• | Utica, Ny | Apr 26, 2021 | 45 y | 0 |
| S•••••• L•••• C••••• | Utica, Ny | Apr 26, 2021 | 30 y | 0 |
| K•••• W• C••••• | Utica, Ny | Jul 19, 2021 | 12 y | 0 |
| D•••• B• H•••••Certified Financial Planner | Utica, Ny | Jul 19, 2021 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G••••••• B•••• · Ceo, President, Cfocontrolsince 03/1988 · owns 75% or more
- C•••••• S••••••• L•••• · Chief Compliance Officersince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Utica, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 188 to 182Mar 28, 2025 to Mar 18, 2026
- Corporate clients · 6 to 5Mar 28, 2025 to Mar 18, 2026
- Individual clients · 28 to 23Mar 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $20.3M to $22.3MMar 28, 2025 to Mar 18, 2026
- HNW RAUM · $125M to $142MMar 28, 2025 to Mar 18, 2026
- Individual RAUM · $3.9M to $3.9MMar 28, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $229M to $259MMar 28, 2025 to Mar 18, 2026
- Pension RAUM · $52.4M to $58.5MMar 28, 2025 to Mar 18, 2026
- RAUM · $249M to $282MMar 28, 2025 to Mar 18, 2026
- Accounts · 196 to 188Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 5 to 4Mar 27, 2024 to Mar 28, 2025
- BD registered reps · 6 to 5Mar 27, 2024 to Mar 28, 2025
- Charity clients · 13 to 3Mar 27, 2024 to Mar 28, 2025
- Corporate clients · 2 to 6Mar 27, 2024 to Mar 28, 2025
- HNW clients · 63 to 76Mar 27, 2024 to Mar 28, 2025
- Individual clients · 33 to 28Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 20 to 18Mar 27, 2024 to Mar 28, 2025
- Employees · 6 to 5Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $40.5M to $20.3MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $110M to $125MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $6.9M to $3.9MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $192M to $229MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $44.5M to $52.4MMar 27, 2024 to Mar 28, 2025
- RAUM · $233M to $249MMar 27, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 28, 2025
- Accounts · 198 to 196Mar 22, 2023 to Mar 27, 2024
- Advisory employees · 6 to 5Mar 22, 2023 to Mar 27, 2024
- Charity clients · 7 to 13Mar 22, 2023 to Mar 27, 2024
- Corporate clients · unset to 2.0Mar 22, 2023 to Mar 27, 2024
- HNW clients · 58 to 63Mar 22, 2023 to Mar 27, 2024
- Individual clients · 51 to 33Mar 22, 2023 to Mar 27, 2024
- Pension plan clients · 11 to 20Mar 22, 2023 to Mar 27, 2024
- State-registered IARs · 6 to 5Mar 22, 2023 to Mar 27, 2024
- Discretionary RAUM · $36.6M to $40.5MMar 22, 2023 to Mar 27, 2024
- HNW RAUM · $94.6M to $110MMar 22, 2023 to Mar 27, 2024
- Individual RAUM · $12.7M to $6.9MMar 22, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $160M to $192MMar 22, 2023 to Mar 27, 2024
- Pension RAUM · $25.8M to $44.5MMar 22, 2023 to Mar 27, 2024
- RAUM · $197M to $233MMar 22, 2023 to Mar 27, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- g••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-724-5105reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-724-5196reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••M•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 315-724-5105reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $70.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026